Our Staff has compiled our research into a database of FINRA Broker Disclosures for Lion Street Financial, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Maxwell Fricker | 5992998 | 1 | 12/11/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Oliver Buxton | 4697339 | 1 | 10/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Workman | 4564285 | 1 | 06/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Mark Gurko | 5949511 | 1 | 07/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Thomas Higginbotham | 2760619 | 2 | 02/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Morgan Herrig | 2432082 | 1 | 04/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kirk Wolf | 2367568 | 1 | 12/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Kingsley Barbernell | 4097730 | 5 | 10/16/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dan Christian Roehm | 5200069 | 1 | 10/25/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael James Luton | 4796647 | 1 | 01/27/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |